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Author : Arnold S. Jacobs
Publisher :
ISBN 13 :
Total Pages : 868 pages
Book Rating : 4.F/5 ( download)
Download or read book The Impact of Rule 10b-5 written by Arnold S. Jacobs and published by . This book was released on 1987 with total page 868 pages. Available in PDF, EPUB and Kindle. Book excerpt: NO LONGER UPDATED - LAST UPDATE REC'D WAS RELEASE #14 (8/87).
Author : American Bar Association. House of Delegates
Publisher : American Bar Association
ISBN 13 : 9781590318737
Total Pages : 216 pages
Book Rating : 4.3/5 (187 download)
Download or read book Model Rules of Professional Conduct written by American Bar Association. House of Delegates and published by American Bar Association. This book was released on 2007 with total page 216 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.
Author : Marc I. Steinberg
Publisher : Oxford University Press
ISBN 13 : 0197583148
Total Pages : 361 pages
Book Rating : 4.1/5 (975 download)
Download or read book Rethinking Securities Law written by Marc I. Steinberg and published by Oxford University Press. This book was released on 2021 with total page 361 pages. Available in PDF, EPUB and Kindle. Book excerpt: "This book focuses on a very timely and important subject that merit s comprehensive analysis: "rethinking" the securities laws, with particular emphasis on the Securities Act and Securities Exchange Act. The system of securities regulation that prevails today in the United States is one that has been formed through piecemeal federal legislation, Securities and Exchange Commission (SEC) in vocation of its administrative authority, and self-regulatory episodic action. As a consequence, the presence of consistent and logical regulation all too often is lacking. In both transactional and litigation settings, with frequency, mandates apply that are erratic and antithetical to sound public policy. Over four decades ago, the American Law Institute (ALI) adopted the ALI Federal Securities Code. The Code has not been enacted by Congress and its prospects are dim. Since that time, no treatise, monograph, or other source comprehensively has focused on this meritorious subject. The objective of this book is to identify the deficiencies that exist under the current regimen, address their failings, provide recommendations for rectifying these deficiencies, and set forth a thorough analysis for remediation in order to prescribe a consistent and sound securities law framework. By undertaking this challenge, the book provides an original and valuable resource for effectuating necessary law reform that should prove beneficial to the integrity of the U.S. capital markets, effective and fair government and private enforcement, and the enhancement of investor protection"--
Download or read book Kohler V. Kohler Co written by and published by . This book was released on 1963 with total page 44 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : William Savitt
Publisher :
ISBN 13 : 9781910813645
Total Pages : 310 pages
Book Rating : 4.8/5 (136 download)
Download or read book The Securities Litigation Review written by William Savitt and published by . This book was released on 2017 with total page 310 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Marc I. Steinberg
Publisher : Oxford University Press
ISBN 13 : 0190876301
Total Pages : 329 pages
Book Rating : 4.1/5 (98 download)
Download or read book The Federalization of Corporate Governance written by Marc I. Steinberg and published by Oxford University Press. This book was released on 2018-02-23 with total page 329 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book focuses on the federalization of corporate governance in the United States from both historical and contemporary perspectives. Although the states traditionally have regulated the sphere of corporate governance - encompassing the relations among and between the subject corporation, its directors, its officers, its stockholders, and other stakeholders - federal law today impacts the governance of publicly-traded companies to a greater degree than ever before in U.S. history. This book discusses the evolution and development of corporate governance from a federal law perspective from the commencement of the twentieth century to the present. It examines the tension between state company law and federal law, analyzes the federal historical developments, explains the ramifications of the federal legislation enacted during the past two decades, and recommends corrective measures that should be implemented. The book accordingly provides an original, historical, and contemporary analysis of the federalization of corporate governance - a subject that impacts this country's economic well-being in a very fundamental way.
Author : Frank B. Cross
Publisher : Edward Elgar Publishing
ISBN 13 : 9781847205346
Total Pages : 248 pages
Book Rating : 4.2/5 (53 download)
Download or read book Law and Corporate Finance written by Frank B. Cross and published by Edward Elgar Publishing. This book was released on 2007-01-01 with total page 248 pages. Available in PDF, EPUB and Kindle. Book excerpt: The authors examine the role of the law in developing large financial markets necessary for national economic success. They discuss the basic foundational law of contracts, property and tort, corporate law, and securities law, providing both a broad theoretical and empirical case for its value in financial markets.
Author : Philip McBride Johnson
Publisher : Wolters Kluwer
ISBN 13 : 0735533369
Total Pages : 663 pages
Book Rating : 4.7/5 (355 download)
Download or read book Derivatives Regulation written by Philip McBride Johnson and published by Wolters Kluwer. This book was released on 2004-01-01 with total page 663 pages. Available in PDF, EPUB and Kindle. Book excerpt: For over a quarter century, Commodities Regulation has been recognized as the resource covering the derivatives marketplace. Today, Derivatives Regulation builds on that expertise, delivering the coverage professionals and practitioners need in order to stay current with this changing topic. Derivatives Regulation comprehensively covers the Commodity Exchange Act along with all other relevant aspects of the regulation of securities that have an impact on the derivatives markets. Derivatives Regulation is completely updated to cover the full range of emerging regulatory, reporting, and legal issues surrounding derivatives and related instruments, including: Distinguishing between regulated and unregulated derivatives�and knowing which rules to apply The significant roles of the SEC and the federal laws in regulating derivatives Meeting standards for exemption or other relief The workings of the derivatives markets and the rules applicable to trading Registration, reporting, and disclosure requirements applicable to commodities professionals Criteria for publicly traded futures and commodity options Rules governing unprofessional conduct, including the antifraud and anti-manipulation prohibitions Customer protections, the CFTC�s reparations program, arbitration programs, and private rights of action in the courts
Author : MIRANDE. DE ASSIS VALBRUNE (RENEE. CARDELL, SUZANNE.)
Publisher :
ISBN 13 : 9781680923025
Total Pages : 180 pages
Book Rating : 4.9/5 (23 download)
Download or read book Business Law I Essentials written by MIRANDE. DE ASSIS VALBRUNE (RENEE. CARDELL, SUZANNE.) and published by . This book was released on 2019-09-27 with total page 180 pages. Available in PDF, EPUB and Kindle. Book excerpt: A less-expensive grayscale paperback version is available. Search for ISBN 9781680923018. Business Law I Essentials is a brief introductory textbook designed to meet the scope and sequence requirements of courses on Business Law or the Legal Environment of Business. The concepts are presented in a streamlined manner, and cover the key concepts necessary to establish a strong foundation in the subject. The textbook follows a traditional approach to the study of business law. Each chapter contains learning objectives, explanatory narrative and concepts, references for further reading, and end-of-chapter questions. Business Law I Essentials may need to be supplemented with additional content, cases, or related materials, and is offered as a foundational resource that focuses on the baseline concepts, issues, and approaches.
Author : Charles J. Johnson
Publisher :
ISBN 13 :
Total Pages : 1154 pages
Book Rating : 4.F/5 ( download)
Download or read book Corporate Finance and the Securities Laws written by Charles J. Johnson and published by . This book was released on 2004 with total page 1154 pages. Available in PDF, EPUB and Kindle. Book excerpt: The highly anticipated Third Edition of Corporate Finance & the Securities Laws is a fully updated version of this classic work by two premier experts in the world of corporate finance. The book explains the legal environment in which capital markets transactions take place as well as explaining the transactions themselves and how professionals can manage the transaction and get it done. Some highlights in the Third Edition are: Underwriting practices the registration and distribution process Private placements Shelf registrations International finance Commercial paper Innovative financial products and asset-backed securities the Third Edition also includes updates on many important developments in corporate finance, including: New standards for IPO allocations the reduced role of analysts in securities offerings driven by reforms separating the interaction of research analysts And The investment bankers who bring in new business an updated look at MD&A (Management Discussion & Analysis) A new chapter focusing on asset-backed securities Sarbanes-Oxley's effects on disclosure requirements and due diligence the growing trend of On-line offerings Dealing with 'gun-jumping' problems Electronic delivery of offering documents New emphasis on financial statement due diligence New NASD corporate financing rule New NASD rule on retention of new issues (formerly the 'hot issue' rule) Exiting the SEC reporting system Innovative financing techniques And The Commodity Futures Modernization Act of 2000 Short sales and equity derivatives Innovations in convertible, exchangeable and equity-linked securities Amended Rule 10b-18 and more
Author : Arnold S. Jacobs
Publisher : Clark Boardman Callaghan
ISBN 13 :
Total Pages : 1144 pages
Book Rating : 4.:/5 (319 download)
Download or read book Litigation and Practice Under Rule 10b-5 written by Arnold S. Jacobs and published by Clark Boardman Callaghan. This book was released on 1981 with total page 1144 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : H. Nejat Seyhun
Publisher : MIT Press
ISBN 13 : 9780262692342
Total Pages : 452 pages
Book Rating : 4.6/5 (923 download)
Download or read book Investment Intelligence from Insider Trading written by H. Nejat Seyhun and published by MIT Press. This book was released on 2000-02-28 with total page 452 pages. Available in PDF, EPUB and Kindle. Book excerpt: Learn how to profit from information about insider trading. The term insider trading refers to the stock transactions of the officers, directors, and large shareholders of a firm. Many investors believe that corporate insiders, informed about their firms' prospects, buy and sell their own firm's stock at favorable times, reaping significant profits. Given the extra costs and risks of an active trading strategy, the key question for stock market investors is whether the publicly available insider-trading information can help them to outperform a simple passive index fund. Basing his insights on an exhaustive data set that captures information on all reported insider trading in all publicly held firms over the past twenty-one years—over one million transactions!—H. Nejat Seyhun shows how investors can use insider information to their advantage. He documents the magnitude and duration of the stock price movements following insider trading, determinants of insiders' profits, and the risks associated with imitating insider trading. He looks at the likely performance of individual firms and of the overall stock market, and compares the value of what one can learn from insider trading with commonly used measures of value such as price-earnings ratio, book-to-market ratio, and dividend yield.
Author : Gary M. Brown
Publisher :
ISBN 13 : 9781402418969
Total Pages : 0 pages
Book Rating : 4.4/5 (189 download)
Download or read book Securities Law and Practice Deskbook written by Gary M. Brown and published by . This book was released on 2013-01-16 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: In one concise volume, the new sixth edition of Securities Law and Practice Deskbook contains thorough but accessible insight into securities law and regulation, including the sweeping Dodd-Frank changes and the Commission's recent enactment of the "proxy access" rules. Featuring step-by-step checklists that spotlight what you should and should not do as an adviser in the securities arena, this practical treatise enables you to help corporate entities * Deal effectively with the Securities Act registration process -- focusing on the procedures, disclosure requirements, and documents involved, including the drafting of prospectuses, the due diligence necessary to ensure accuracy, and electronic filing * Handle registration and reporting under the Exchange Act -- both initial and mandated periodic reporting, including the revisions made under both Sarbanes-Oxley and the recent financial reform legislation * Minimize liability risks under the Exchange Act -- by understanding what triggers violations under Rule 10b-5, Section 16(b), and Section 14, and by avoiding such practices as churning and market manipulation Securities Law and Practice Deskbook covers the recent legislative, regulatory and judicial changes that * Revised the net worth standard of qualifying as an accredited investor * Increased the SEC's ability to impose penalties in cease-and-desist proceedings * Requires the creation of "claw-back" provisions in listed company compensation plans * Significantly revised "proxy access" and "proxy voting" regulations
Author : Robert F. Nagel
Publisher : Oxford University Press
ISBN 13 : 9780195347975
Total Pages : 228 pages
Book Rating : 4.3/5 (479 download)
Download or read book The Implosion of American Federalism written by Robert F. Nagel and published by Oxford University Press. This book was released on 2002-11 with total page 228 pages. Available in PDF, EPUB and Kindle. Book excerpt: At a time of unprecedented national power, why do so many Americans believe that our nationhood is fragile and precarious? Why the talk--among politicians, academics, and jurists--of "coups d'etat," of culture wars, of confederation, of constitutional breakdown? In this wide-ranging book, Robert Nagel proposes a surprising znswer: that anxiety about national unity is caused by centralization itself. Moreover, he proposes that this anxiety has dangerous cultural consequences that are, in an implosive cycle, pushing the country toward ever greater centralization. Carefully examining recent landmark Supreme Court cases that protect states' rights, Nagel argues that the federal judiciary is not leading and is not likely to lead a revival of the complex system called federalism. A robust version of federalism requires appreciation for political conflict and respect for disagreement about constitutional meaning, both values that are deeply antithetical to the Court's function. That so many believe this most centralized of our Nation's institutions is protecting, even overprotecting, state power is itself a sign of the depletion of those understandings necessary to sustain the federal system. Instead of a support for federalism, Nagel finds a commitment to radical nationalism throughout the constitutional law establishment. He traces this commitment to traditionally American traits like perfectionism, optimism, individualism, and legalism. Under modern conditions of centralization, these attractive traits are leading to unattractive social consequences, including tolerance, fearfulness, utopianism, and deceptiveness. They are degrading our political discourse. All this encourages further centralization and further cultural deterioration. This book puts the major federalism decisions within the framework of the Court's overall record, including its record on individual rights in areas like abortion, homosexuality, and school desegregation. And, giving special attention to public debate over privacy and impeachment, it places modern constitutional law in the context of political discourse more generally.
Author : Henry G. Manne
Publisher :
ISBN 13 :
Total Pages : 296 pages
Book Rating : 4.:/5 (49 download)
Download or read book Insider Trading and the Stock Market written by Henry G. Manne and published by . This book was released on 1966 with total page 296 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Susan D. Sawtelle
Publisher : DIANE Publishing
ISBN 13 : 1437989357
Total Pages : 47 pages
Book Rating : 4.4/5 (379 download)
Download or read book Securities Fraud Liability of Secondary Actors written by Susan D. Sawtelle and published by DIANE Publishing. This book was released on 2012-10-14 with total page 47 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :
Publisher : Section of Litigation
ISBN 13 : 9780897079242
Total Pages : 174 pages
Book Rating : 4.0/5 (792 download)
Download or read book Securities Litigation written by and published by Section of Litigation. This book was released on 1996 with total page 174 pages. Available in PDF, EPUB and Kindle. Book excerpt:
